Commonly Used Forms and Documents

Badgley Phelps Forms

Form CRS

This document outlines your relationship with Badgley Phelps, including our services, fees, and key information about working with our firm. Required by the Securities and Exchange Commission, it helps clients make informed decisions.

Wealth Management Agreement

This agreement outlines the terms of your wealth management relationship with Badgley Phelps and authorizes our firm to manage your investment accounts, including making decisions aligned with your goals, needs, and agreed-upon strategy. The agreement also includes the schedule of fees to be assessed for our services.

Charles Schwab Forms

Account Opening

Forms to open new accounts at Schwab.

Schwab One Account Application for Personal Accounts

This application authorizes Schwab to open an account for you. The account holds your investment assets, with Badgley Phelps named as the wealth manager authorized to assist with account management. It also explains Schwab's terms and conditions for custodial services.

Schwab IRA Account Application

This application opens an Individual Retirement Account, or IRA, at Schwab to hold your retirement assets. It also designates Badgley Phelps as your wealth manager and outlines Schwab's custodial service terms and conditions.

Schwab Trust Account Application

This form authorizes Schwab to establish an account for trust assets. It identifies the trust, designates the trustee(s) authorized to act on the account, appoints Badgley Phelps as the wealth manager, and outlines Schwab's custodial service terms and conditions.

Account Management

Forms to manage permissions, trading, and account access.

Schwab Prime Brokerage Amendment (Account Holder)

This form authorizes Badgley Phelps to place trades for your account through approved brokers outside Schwab when appropriate.

Schwab Limited Power of Attorney (LPOA) for Investment Advisor

This document connects your existing Charles Schwab account to Badgley Phelps for investment management. It allows Badgley Pheips to view the account, trade on your behalf, collect management fees, and help process fund transfers at your request.

Schwab Advisor Network Investor Acknowledgement

This document confirms your participation in the Schwab Advisor Network program, and records that Charles Schwab referred you to our firm.

Schwab Trading and Withdrawal Authorization Form

This form lets you designate an outside individual, called an agent, to act on your behalf for certain Schwab account activities. The agent's authority level of authority may be selected on the form.

Transfer & Funding

Forms to transfer accounts or move funds.

Transfer Your Account to Schwab

This form starts the process of transferring an investment account, or select securities held within the account, from another financial institution to Schwab. Schwab also requires a current account statement to complete the transfer.

Schwab Moneylink ACH Electronic Funds Transfer Authorization Form

This form authorizes Schwab to electronically link your Schwab brokerage account to your checking or savings account. At your request, Badgiey Phelps can use the link to facilitate ACH deposits or withdrawals, typically processed within 1-2 business days.

Schwab Standing Instruction for Checks & Internal Transfers (Journal) Form

This form allows Schwab to keep instructions on file for moving funds between Schwab accounts or requesting checks. Once established, Badgley Phelps can then facilitate these transfers at your request.

Retirement & Beneficiaries

Forms related to retirement distributions and beneficiary designations.

Schwab IRA Distribution Request Form

This form authorizes Schwab to distribute funds from your IRA, either as recurring transfers or one-time requests. Schwab must receive the completed form before processing any IRA distributions.

Schwab Designated Beneficiary Plan Agreement

This agreement directs Schwab to add transfer-on-death beneficiaries to your personal or joint account, helping ensure the account assets pass according to your wishes after your death.